Search Result

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach

…

SUP App 3.6 Freedom to provide services

As Published: 2004

SUP App 3.6 Freedom to provide services

…

DISP 1.1A Complaints handling requirements for MiFID complaints

As Published: 2017

DISP 1.1A Complaints handling requirements for MiFID complaints

…

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

As Published: 2005

PERG 8.15 Financial promotions by members of the professions (articles 55 and 55A)

…

SUP 15.9 Notifications by members of financial conglomerates

As Published: 2004

SUP 15.9 Notifications by members of financial conglomerates

…

PERG 10.5 Employers and affinity groups (such as trade unions)

As Published: 2006

PERG 10.5 Employers and affinity groups (such as trade unions)

…

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

As Published: 2016

EG 20.5 Prosecution of criminal offences under the Consumer Credit Act 1974

…

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To

COLL 7.5 Schemes or sub-funds that are not commercially viable

PR 1.2 Requirement for a prospectus and exemptions

EG 4.13 Preliminary findings letters and preliminary investigation reports

REC 4.4 Complaints

EG 8.4 Limitations and requirements that the FCA may impose when exercising its section 55J and 55L powers

IFPRU 2.2 Internal capital adequacy assessment process

SUP 16.1 Application

BIPRU 2.2 Internal capital adequacy standards

REC 2.16 Complaints

PERG 8.21 Company statements, announcements and briefings

GENPRU 3.2 Third-country groups

SUP 16.11 Product Sales Data Reporting

PERG 4.3 Regulated activities related to mortgages

EG 15.2 Disqualification of auditors and actuaries under its powers contained in section 345, section 249 and section 261K of the Act: the FCA's general approach